Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
The totals here are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
SWS Financial Services   2009 FINRA $70,000
Leonard & Company   2009 FINRA $60,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 FINRA $55,000
SIGMA Financial Corporation   2009 FINRA $50,000
Intersecurities, Inc.   2009 FINRA $50,000
Fox & Company Investments Inc.   2009 FINRA $45,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
vFinance Investments, Inc.   2009 FINRA $27,500
Investors Capital Corp.   2009 FINRA $25,000
ProEquities, Inc. Dai-ichi Life financial services 2009 FINRA $25,000
National Securities Corporation   2009 FINRA $25,000
Gary Goldberg & Co., Inc   2009 FINRA $19,500
FSC Securities Corporation   2009 FINRA $15,000
Lincoln Investment Planning, Inc.   2009 FINRA $15,000
Spelman & Co.   2009 FINRA $10,000
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
First Midwest Securities, Inc.   2009 FINRA $7,000
GunnAllen Financial, Inc.   2009 FINRA $6,000
Advantage Capital Corporation   2009 FINRA $5,000
Financial West Group   2009 FINRA $5,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $2,000,000
First New York Securities L.L.C.   2009 FINRA $341,000
Robert W. Baird & Co.   2009 FINRA $934,510
Wachovia Securities Wells Fargo financial services 2009 FINRA $4,500,000
Leonard & Co.   2009 FINRA $225,000
Citigroup Global Markets, Inc. Citigroup financial services 2008 FINRA $300,000
J.P. Turner & Company, LLC   2008 FINRA $250,000
City National Securities   2008 FINRA $315,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
Harris Investor Services, Inc.   2008 FINRA $150,000
Banorte Securities International, Ltd.   2008 FINRA $1,100,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2008 FINRA $1,650,000
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $300,000
First Southwest Company   2008 FINRA $300,000
WaMu Investments, Inc.   2008 FINRA $250,000
GunnAllen Financial, Inc.   2008 FINRA $750,000
American Fund Distributors   2008 FINRA $5,000,000
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
Pruco Securities Prudential Financial financial services 2008 FINRA $100,000
Merrill Lynch Bank of America financial services 2008 FINRA $250,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
SMH Capital Inc.   2008 FINRA $450,000
Broadpoint Capital, Inc.   2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
Lehman Brothers, Inc. Lehman Brothers financial services 2008 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2008 FINRA $200,000
Needham & Company, LLC   2008 FINRA $200,000
Robert W. Baird & Co., Inc.   2008 FINRA $200,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2008 FINRA $150,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
Cowen and Company, LLC   2008 FINRA $150,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services 2008 FINRA $150,000
Leerink Swann & Company, Inc.   2008 FINRA $150,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2008 FINRA $150,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
JMP Securities, LLC   2008 FINRA $50,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2007 FINRA $500,000
Rafferty Capital Markets, LLC   2007 FINRA $409,605
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 FINRA $300,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2007 FINRA $370,000
Morgan Stanley & Co. Morgan Stanley financial services 2007 FINRA $12,500,000
AXA Advisors, LLC Equitable Holdings financial services 2007 FINRA $2,600,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2007 FINRA $6,100,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services 2007 FINRA $473,000
NYLIFE Securities LLC New York Life Insurance financial services 2007 FINRA $354,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 FINRA $322,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services 2007 FINRA $100,000
Wells Fargo Securities, LLC Wells Fargo financial services 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo financial services 2007 FINRA $2,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2007 FINRA $15,200,000
HSBC Brokerage HSBC financial services 2007 FINRA $250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services 2007 FINRA $400,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2007 FINRA $2,750,000
Scudder Distributors, Inc.   2007 FINRA $425,000
Putnam Retail Management Limited Partnership Power Financial Corporation financial services 2007 FINRA $175,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services 2007 FINRA $100,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services 2007 FINRA $3,750,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
USAllianz Securities Allianz financial services 2006 FINRA $5,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
EKN Financial Services Inc.   2006 FINRA $200,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.